Full job descriptionAre you a compliance professional who understands financial advice from the inside?
Perhaps you started your career as a Paraplanner, Financial Adviser or within an IFA/advice environment before moving into compliance. Or you may already be working in an advice-focused compliance role and be looking for an opportunity offering greater breadth, responsibility and career development.
We are recruiting a Compliance Manager to join the growing Risk & Compliance function of an established and expanding UK financial services group.
This is an excellent opportunity for someone who combines practical knowledge of the financial advice process with compliance experience and wants to play an important role within a business undergoing significant growth and development.
The opportunityWorking closely with the Senior Compliance Manager, you will provide proactive compliance support and constructive challenge across the organisation’s financial advisory business.
Unlike a narrowly focused monitoring position, this is a broad and varied compliance role giving you exposure across advice monitoring, Consumer Duty, regulatory reporting, policies, complaints, training and regulatory change.
Your responsibilities will include:
*Supporting the design and delivery of the annual Compliance Monitoring Plan
*Overseeing the outsourced advice file monitoring programme and reviewing trends and outcomes
*Providing pre-approval compliance guidance and support to Financial Advisers
*Feeding monitoring findings into ongoing Adviser Training & Competence
*Supporting the development and maintenance of compliance policies and procedures
*Helping oversee compliance training and identifying additional development requirements
*Supporting regulatory submissions, forms and returns
*Assisting with management information and Consumer Duty reporting
*Monitoring relevant FCA and regulatory developments
*Supporting the investigation and resolution of complaints
*Assisting with compliance incidents, policy breaches and corrective actions
*Working with stakeholders across the business to promote a strong and pragmatic compliance culture
Who are we looking for?Of particular interest are candidates who have first-hand experience of the financial advice process.
You may therefore have previously worked as a:
*Paraplanner
*Financial Adviser / Financial Planner
*Trainee Adviser
*Advice Reviewer / File Reviewer
*Compliance Officer / Compliance Consultant
*Advice Quality / T&C professional
You may already have transitioned from advice or paraplanning into compliance, or you could be an experienced Paraplanner with strong technical and regulatory knowledge who is now looking to develop a career within compliance.
You are likely to bring:
*Good knowledge of the UK financial advice / wealth management environment
*Practical understanding of FCA regulation affecting financial advisers
*Previous compliance, file review, advice quality, monitoring or regulatory experience
*An understanding of Consumer Duty and its application within an advisory business
*The confidence to work constructively with Financial Advisers and challenge where appropriate
*Strong analytical skills and excellent attention to detail
*Good written and verbal communication skills
*A pragmatic approach to compliance – able to balance regulatory requirements with commercial realities
Why consider this opportunity?This isn’t simply another file-checking role.
You’ll be joining a developing Risk & Compliance function at an important stage in the organisation’s growth, giving you the opportunity to broaden your compliance experience and have genuine input into how the function develops.
For someone who has made the move from advice or paraplanning into compliance, it offers the chance to build much wider experience while retaining close involvement with the financial advice business.
Salary: £50,000 per annum
Location: Leicester or Coventry
If you have experience within financial advice, paraplanning or wealth management combined with compliance knowledge, we’d be very interested in hearing from you.
Apply now for a confidential discussion and further information about the opportunity.